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  1. Rules & Guidance
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Rules & Guidance

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Guidance
  • FAQ
    Frequently Asked Questions Related to Regulatory Relief Due to the Coronavirus Pandemic
    March 24, 2020
  • 2017 Exam Findings Report
    Net Capital and Credit Risk Assessments
    December 06, 2017
  • Guidance
    Regulatory Notice 14-12
    March 24, 2014
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    Regulatory Notice 14-06
    February 07, 2014
  • FAQ
    Regulatory Notice 12-58
    December 27, 2012
  • Guidance
    Regulatory Notice 11-38
    August 08, 2011
  • Guidance
    Regulatory Notice 09-38
    July 15, 2009
  • Guidance
    Regulatory Notice 08-65
    November 04, 2008
  • Guidance
    Regulatory Notice 08-56
    October 15, 2008
  • Guidance
    Regulatory Notice 08-46
    September 05, 2008
  • FAQ
    Portfolio Margin FAQ

           

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ARBITRATION & MEDIATION

FINRA operates the largest securities dispute resolution forum in the United States
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